FT MarketWatch

Suitability Rules

A guideline stated or implied by various securities regulatory bodies which requires that brokers determine the suitability of investments for customers before making recommendations. also called Rule 405 or Know Your Customer.

Related Terms: 10 Broker, Call, Customer, ECU, Know Your Customer, NOW, Rule 405, SEC, Term, UIT
Other Related Pages: Category: Brokerages Starting With: S
Additional Related Terms: 10-Q, 10-K, 30-day wash rule, Allowance for depreciation, Accrual of discount, Amortization of premium, At par, All or any part, At best, At call